Senior Compliance Analyst (Sdca)
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Overview
Job Description
Job Title: Senior Designated Compliance Analyst (SDCA) – Investment Compliance
Location: Hybrid – Sacramento, CA
Compensation: $100,000–$105,000 annually
Overview
We are seeking a Senior Designated Compliance Analyst (SDCA) to support the Compliance team in maintaining adherence to records retention program parameters and applicable regulations. The SDCA will play a key role in developing, implementing, and overseeing compliance policies, collaborating closely with business units to ensure practices meet regulatory requirements.
This role offers the opportunity to work in a dynamic environment where contributions directly impact compliance posture and operational success. The SDCA will also have authority to investigate and report regulatory compliance concerns, recommending corrective action where needed.
Responsibilities
Monitor and analyze applicable federal and state regulations.
Provide proactive guidance to business units on compliance-related matters.
Develop and maintain corporate compliance policies in alignment with operational teams.
Participate in annual and ongoing risk assessments, including complex risk areas.
Oversee storage and secure destruction of records (paper and electronic).
Collaborate with technology teams on systems that support document management.
Support business continuity planning and data recovery initiatives.
Develop compliance training content for staff.
Prepare compliance reports for senior management and regulatory bodies.
Represent the organization during external audits, exams, and regulatory interactions.
Provide oversight on high-risk projects and initiatives.
Qualifications
Education
Bachelor’s degree or equivalent work experience.
Experience
7+ years of experience in financial services compliance, internal/external audit, operations, or compliance program development/evaluation.
Background in financial services compliance including investment compliance
Knowledge & Skills
Strong knowledge of compliance laws, regulations, and records retention practices.
Proven ability to communicate effectively at a management level (oral and written).
Strong organizational skills with ability to manage multiple priorities.
Ability to work independently with minimal direction in a fast-paced, ambiguous environment.
High integrity and sound judgment of priorities.
Proficiency with Microsoft Word, Excel, PowerPoint, Adobe Acrobat Pro, and SharePoint.
Experience with Microsoft Purview for data governance and compliance is preferred.
Preferred Certifications (not required)
Credit Union Compliance Expert (CUCE)
NAFCU Certified Compliance Officer (NCCO)
Certified Bank Compliance Officer (CBCO)
Certified Regulatory Compliance Manager (CRCM)
Certified Records Manager (CRM)
Information Governance Professional (IGP)
Other related compliance and information governance certifications
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